SEC Form 4 · accession 0000801898-16-000241
JOY GLOBAL INC · JOY
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James M Sullivan
Officer — EVP & CFO
Period of report
Oct 3, 2016
Accepted (ET)
Oct 5, 2016 · 4:49 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000801898
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Oct 3, 2016 | F | 1,231 | $27.77 | D | 73,196 | D | |
| Common StockF2,F3 | Oct 3, 2016 | A | 21 | — | A | 73,837 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The securities disposed of represent shares withheld to cover withholding taxes resulting from the settlement of previously awarded restricted stock units.
- F2The number of shares acquired represents additional restricted stock units resulting from the payment on October 3, 2016 of a cash dividend of $0.01 per share of common stock based on $27.725, the average of the daily high and low trading prices of the issuer's common stock on the dividend payment date.
- F3Includes 620 shares acquired on September 30, 2016, under the Joy Global Inc. Employee Stock Purchase Plan.